Chi Chuen Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Chuen Chan (陳志銓), a licensed Responsible Officer with CE reference AGF194. Currently licensed at 2 firm(s): CLSA Limited, CITIC Securities (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 22.9 years of SFC licence history. Total licence records on file: 25.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 - Dealing in securities | 2017-11-06 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2017-11-06 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2017-11-06 | present |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 4 - Advising on securities | 2017-11-06 | 2021-07-28 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-05-22 | 2017-11-06 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2017-05-22 | 2017-11-06 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 - Advising on securities | 2017-05-22 | 2017-11-06 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-05-22 | 2017-11-06 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2017-03-08 | 2017-04-08 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-03-08 | 2017-04-08 |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 - Dealing in securities | 2015-10-09 | 2017-01-28 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2015-10-09 | 2017-01-28 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-04-23 | 2015-10-09 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-04-23 | 2015-10-09 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2015-04-23 | 2017-01-28 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2011-12-29 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-10-11 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-10-11 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-10-11 | 2011-12-29 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2009-12-21 | 2011-10-01 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-11-06 | 2009-12-21 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2009-10-08 | 2009-10-10 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-11-14 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2009-10-08 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-11-14 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Chi Chuen Chan during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.